Assistant Vice President Level 1

theapexgroup; Mumbai; On-site; INR 1,500,000 - 2,300,000; Full time

Job summary

The Apex Group in Mumbai is seeking a Specialist/Supervisor for Transfer Agency Trade Processing to support AML/KYC operations, including document management, quality reviews, and regulatory compliance across global clients.

Your role emphasizes BAU execution, coaching, and timely reporting, with strong Excel/Word and English communication essential for success.

Qualifications

• Flexibility to work in any shift per business needs.
• Prior transfer agency processing experience required.
• Bachelor's degree in commerce desired.
• 10–12 years of relevant experience.

Responsibilities

• Discuss recently released guidance or changes in team meetings.
• Be aware of screening tools like World Check, Pythagoras, Lexus-Nexus.
• Perform quality reviews for entities (Corporates, charities, investors) per AML policies.
• Utilize Excel and Word; create and review reports.
• Document results of quality reviews and remedial actions.
• Provide feedback and coach associates as needed.
• Ensure BAU, remediations, and periodic reviews meet SLAs.
• Follow AML guidance for Cayman, Delaware, Australia, Ireland, Bermuda.
• Mentor new hires and support onboarding.
• Collaborate across global teams to meet KYC requirements.
• Review FATCA/CRS forms (W9, W8-BEN, W8-IMY).
• Produce reports on time without reminders.

Skills

AML/KYC

World Check

Excel

Communication

Quality reviews

Team mentoring

Documentation

US tax forms

Education

Bachelor's degree in commerce

Tools

Microsoft Word

MS Office

Job description

The Apex Group was established in Bermuda in 2003 and is now one of the world's largest fund administration and middle office solutions providers.

Our business is unique in its ability to reach globally, service locally and provide cross‑jurisdictional services. With our clients at the heart of everything we do, our hard‑working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa13,000 employees across 112 offices worldwide. Your career with us should reflect your energy and passion.

That's why, at Apex Group, we will do more than simply ‘empower’ you. We will work to super‑charge your unique skills and experience.

Take the lead and we'll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry‑changing realities.

For our business, for clients, and for you.

Transfer Agency Trade Processing Team Business- AML/KYC

Role Title- Specialist/Supervisor

The Transfer Agency Department provides Fund Administration Services to numerous Fund management companies covering the full range of shareholder servicing functions including Transaction processing, Reporting, AML and Registration and Payments. The department is responsible for Client and investor document management, processing and quality checking of transactions and updating the registers of clients in response to investor instructions.

This role is to perform BAU activities in the TA department to ensure that not only Client Service Level Agreements are consistently met and/or exceeded but also to ensure that regulatory requirements are effectively met. Candidates should be flexible enough to work in a 24*7 environment.

Key duties and responsibilities

• Discuss recently released guidance or changes in common approach during team meetings.
• Be aware of any or all of screening tools viz. World Check, Pythagoras, Lexus-Nexus etc.
• Perform quality reviews for all entity types. i.e. Corporates, foundation/ Charities, institutional Investors, designated bodies etc., based on the Anti‑Money Laundering (AML) policies and guidelines.
• Be well versed with Microsoft applications. Expertise in excel and presentation skills is an added advantage.
• Identify and document the results of the quality reviews and proposed remedial actions.
• Provide clear feedback to associates and coach as needed.
• Accountable for BAU, Remediations and Periodic review service delivery of Investor KYC ensuring service level agreements are met.
• Be well versed with any or all AML guidance for Cayman, Delaware, Australia, Ireland, Bermuda etc.
• Mentor and ensure smooth induction of new hires in the process.
• Participate in team discussions to provide feedback and recommendations in order to improve quality performance of the associates and senior associates on a regular basis.
• Reach the quality and production target.
• Report/escalate any quality, production, and system-related issues.
• Work extensively with various teams across global locations to fulfill an entity's KYC requirements as mandated by compliance and regulatory standards.
• Have working knowledge of FATCA/CRS reporting. He/She should be able to review US tax forms i.e., W9, W8-BEN, W8-IMY, Withholding statements etc.
• Have good written and verbal communication skills.
• Keep records in good order and perform regular remediation activities as per the risk rating of investors.
• Work separately and also collectively in a group as the situation demands.
• Create the required reports in time, without any reminders.
• Be positive, have team spirit, a must.

Qualification and Experience

• Flexible enough to work in any shift as per business needs.
• Prior Transfer Agency processing experience is required.
• Bachelor's degree in commerce is desired.
• 10-12 years of relevant experience.

Skills Required

• Strong analytical skills
• Responsible for meeting all client deliverables.
• Ability to navigate proficiently in a window environment.
• Strong knowledge of Microsoft Excel & Word.
• Ability to write messages in a clear and concise manner.
• Ability to read, write & speak English proficiently.
• Strong research, resolution, and communication skill
• Interpersonal skills - Relationship builder, respectful and resolves problems.
• Communication skills - Presentation skills, listening skills, oral & written communication skills.
• Self-management - Adaptability and resilience, learning behaviour, integrity and ethics and relationship build. Motivational skills - Performance standards, achieving results and persistence.
• Innovative thinking - Creative thinking decision m